SETH H. BAGSHAW - 28 Oct 2021 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Role
Sr. VP, CFO & Treasurer
Signature
/s/ M. Kathryn Rickards, attorney-in-fact
Issuer symbol
MKSI
Transactions as of
28 Oct 2021
Net transactions value
-$281,715
Form type
4
Filing time
29 Oct 2021, 17:19:56 UTC
Next filing
06 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MKSI Common Stock Options Exercise +4,358 +22% 23,858 28 Oct 2021 Direct F1
transaction MKSI Common Stock Tax liability $281,715 -1,933 -8.1% $145.74 21,925 28 Oct 2021 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction MKSI Restricted Stock Unit Options Exercise -4,358 -14% 27,070 28 Oct 2021 Common Stock 4,358 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
F2 This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
F3 These RSUs vest in two equal annual installments on each of the second anniversary and third anniversary of the date of grant, October 28, 2019.